Northern Ireland Office Information Management Assessment (IMA) Action plan

1 Northern Ireland Office (NIO) should build on the good work it has already done to establish a process for information asset management by fully embedding this across the organisation.

[Commentary on progress against main recommendation heading]

Commentary last updated:

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|------------------------------|------------------------|----------------|--------------| | Provide IAOs with definition of Info. Asset | Head of KIM | | 3rd Quarter 2016 | | | Create ‘Profile’ of IAO with list of role responsibilities; circulate to IAOs and put a short note on the intranet | Head of KIM | | 3rd Quarter 2016 | | | Liaise with Corporate Governance to verify completion of Information & Data Asset Registers (IDARs) by business areas | Head of KIM | | Quarterly (always) | | | Study populated IDARs to gain understanding are regarded by business areas as key groupings of valuable information. These findings should be assessed in comparison with Records Retention/Disposal Schedules | Head of KIM & Records Manager | | 1st Quarter 2017 | | | Link up IAOs with TNA training. Invite TNA speaker to address Deputy Directors meeting | Head of KIM | | 4th Quarter 2016 | | | Recommend via note to Directors that IAO responsibilities be recognised in Deputy Directors Annual Objectives | Head of KIM | | 1st Quarter 2017 | | 2. **NIo should take steps to ensure that it continues to provide a supportive environment for the management of digital information and records as it moves to a new IT platform.**

[Commentary on progress against main recommendation heading]

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| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|------------------------------|------------------------|----------------|--------------| | Continue to remind staff of the need to save records to TRIM, through advice on intranet, requests to line managers & Deputy-Directors and messages linked to NIO activities/events | Head of KIM | | On-going | | | Continue routine guidance (via intranet, through briefings to Business Areas and in training sessions) on records naming | K&IM team | | On-going | | | Ensure Systems Administrator has oversight of Google Drive to monitor staff use | Head of KIM & System Administrator | | 2nd Quarter 2016 | COMPLETED | | Gather statistics on use of Google Drive (c.f. use of TRIM); provide Deputy-Directors and LIMs with stats on records creation by Business Area to underline their responsibility for creating corporate records | System Administrator | | On-going | | | Liaise with ITAssist to ensure awareness of any problems of staff access to TRIM, such as on mobile devices | System Administrator | | On-going | | | Task | Responsible Party | Timeframe | |----------------------------------------------------------------------|--------------------------------------------------------|--------------------| | Engage with Cabinet Office (and Head of Estates & Services) on IT Strategy | KiM Head & Deputy Head; System Administrator | On-going | | Liaise with ITAssist & HP on availability of TRIM compatible with Google products | Head of KiM; System Administrator | 3rd Quarter 2016 | | Draft Note to Board on limiting shared mailboxes recommending 180 day deletion | Head of KiM | 3rd Quarter 2016 | | Continue work on “flattening” Corporate File Plan by removing Level 2 and Level 3 Folders | System Administrator | 3rd Quarter 2017 | | Enable automatic disposal within TRIM, based on date triggers and in accordance with sanctioned Disposal Schedules | Head of KiM & System Administrator | 4th Quarter 2017 | | Review and refresh LIM training & guidance in light of new IT; re-activate LIM Forum; ensure LIMs act as first point of contact in providing information management assistance to staff | System Administrator | 3rd Quarter 2016 | | All aspects of the implementation of the CFP re-structure will be progressed as per the KiM Strategy | Head of KiM | 4th Quarter 2017 | Northern Ireland Office Information Management Assessment (IMA) Action plan

3 NIO should take steps to ensure that its digital information remains complete, available and usable for as long as it needs it to be.

[Commentary on progress against main recommendation heading]

Commentary last updated:

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|------------------------------|------------------------|----------------|----------| | Review Information Management Policy to ensure it includes statement of requirements for information capture and retention in EDRMS (that information must remain complete, available and usable) | Head of KIM | | 4th Quarter 2016 | | | Complete Corporate File Plan re-structure, enabling open access to most of the File Plan | System Administrator | | 4th Quarter 2017 | | | Negotiate with ITAC to gain detailed profile of shared drives; include use of DROID software | Head of KIM & System Administrator | | 1st Quarter 2017 | | | Devise plan for appraisal and disposal of information in retained shared drives | Head of KIM & System Administrator | | 1st Quarter 2017 | | | Ensure TRIM is regularly upgraded by IT Assist (in-line with their NICS clients); continue to monitor currency, availability and accessibility of all NIO information | Head of KIM & System Administrator | | On-going | | NIO needs to ensure that information risks are properly understood across the organisation especially at Board level and are recorded, monitored and mitigated as part of the risk management framework.

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|--------------------------------------------|----------------------------------------|-------------------------|--------------| | Provide Board with Brief on information risks both generally and in association with the shift to new IT and flexible working | Head of KIM | | 3rd Quarter 2016 | | | Arrange TNA speaker to Board to discuss information risk | Head of KIM | Scheduled | July 2016 | | | Review Risk Management Policies to ensure information risk is adequately covered | Head of KIM with Head of Corporate Governance | In progress | 4th Quarter 2016 | | | Work with Corporate Governance to assess how well information risk is identified and addressed in Risk Registers; consider how best to approach business areas to assist them with completing Risk Registers | Head of KIM with Head of Corporate Governance | | 1st Quarter 2017 | | | Review how information risk has been managed in other departments – ask IMC to provide introductions to ‘opposite numbers’ in MOD, Home Office, DfE and others | Head of KIM & IMC (TNA) | | 4th Quarter 2016 | | As it moves towards a new IT environment and more open and flexible working, NIO needs to update its information and records management policies, guidance and training accordingly and ensure that it has the right staff in place to support this. It would also benefit from exploring ways of measuring compliance with policy and guidance.

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|------------------------------|----------------------------------------------------------------------------------------|----------------------|----------| | Review Information Management Policy in the context of the changes to IT and work practice, to ensure it contains clear guidance relating to flexible/remote working and to the use on multiple applications; issue reminders to staff via intranet (with link to guidance) | Head of KIM | | 4th Quarter 2016 | | | Ensure Local Information Manager (LIM) responsibilities are incorporated in their annual performance objectives; enlist support of HR; promote this to line managers and by direct reminders to LIMs | Head of KIM & System Administrator | | 2nd Quarter 2017 | | | Use targeted training to ensure LIMs are competent Google users as well as being proficient in TRIM | Head of KIM & System Administrator | | 4th Quarter 2016 | | | Review LIM role description; ensure LIMs promote saving to TRIM in their business areas | Head of KIM & System Administrator | | 3rd Quarter 2016 | | | Action Plan | Responsible Officer(s) | Timeframe | |----------------------------------------------------------------------------|----------------------------------------------------------------------------------------|--------------------| | Continue to promote Head Start Scheme (for joiners/movers/leavers) – promoting it via intranet; reinforcing it with line managers. Review effectiveness of existing scheme. | Records Manager | 2nd Quarter 2017 | | Complete review of Retention Schedules; publish Schedules on NIO internet site, as well as the intranet | Head of KIM & Records Manager | 2nd Quarter 2017 | | Re-circulate guidance on Secure Remote Working to remind staff and to inform new staff of their responsibilities to handle information appropriately | Head of KIM & Information Assurance Coordinator | 3rd Quarter 2016 | | Ensure new staff have completed the mandatory training in information handling | Information Assurance Coordinator | 3rd Quarter 2016 | | Review TRIM training modules; refresh TRIM guidance; run TRIM “train the trainer” sessions for all R&IM staff to create a greater TRIM training resource | Head of KIM & System Administrator | 1st Quarter 2017 | | Provide targeted records & information handling and TRIM training to new staff | KIM Head & Deputy Head; System Administrator | Ongoing (focus on 2016) | | Continue to look/press for suitable IT training venues | Head of KIM | Ongoing (focus on 2016) | | Undertake TRIM audits to monitor volumes of records created, finalised and closed | System Administrator | Ongoing (bi-annually) | | Explore ways of monitoring business area compliance with information management policy | Head of KIM | 2nd Quarter 2017 | | Begin discussions with colleagues in other government departments in order to devise a process for benchmarking NIO information management processes and compliance | KIM Head & Deputy Head | 3rd Quarter 2016 | Northern Ireland Office Information Management Assessment (IMA) Action plan

6. NIO should review its current approach to appraisal, selection, sensitivity review and transfer of its paper files to ensure that it can keep pace with the transition to the 20 year rule.

[Commentary on progress against main recommendation heading]

Commentary last updated:

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|------------------------------|----------------------------------------------------------------------------------------|----------------|--------| | Devise process to document the knowledge of the sensitivity reviewers: particularly selection criteria for records retention | Reviewers | Work commenced with “A Guide to Sensitivity Review in the Northern Ireland Office” | 4th Quarter 2016 | | | Develop more ‘streamlined’ approach to records appraisal: classing records to facilitate two-speed appraisals & review of certain groups of records by Records staff, enabling reviewer time to be focused on records of greater sensitivity | KIM Deputy Head; Reviewers; IMC | | 4th Quarter 2016 | | | Develop out-sourced or partnered solutions for basic file preparation work in order to free Records staff for more skilled review work | KIM Deputy Head; Records Manager | | 1st Quarter 2017 | | | Increase reviewer resource | KIM Deputy Head | | 2nd Quarter 2017 | | Northern Ireland Office Information Management Assessment (IMA) Action plan

7 NIO needs to start developing an approach for the appraisal, selection, sensitivity review and transfer of its digital information.

[Commentary on progress against main recommendation heading]

Commentary last updated:

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|--------------------------------------------|------------------------|----------------|----------| | Liaise with IMC to acquire knowledge on digital continuity; include TNA training and guidance, engagement with other govt. departments and discussions with those who have tested new tools for digital transfers | Head of KIM & IMC | | 4th Quarter 2016 | | | Identify issues around managing transfers of sensitive digital records, including tools and methods for sensitivity review | Head of KIM | | 1st Quarter 2017 | | | Re-structure R&IM team to deploy greater resources in electronic records management | Head of KIM & System Administrator | | 3rd Quarter 2017 | | | Develop roadmap for digital transfers | Head of KIM | | 1st Quarter 2017 | | | Negotiate with ITAC to use DROID software on NIO records holdings | Head of KIM & System Administrator | | 3rd Quarter 2017 | | | Engage with TNA to access digital transfer training for R&IM staff | Head of KIM | | 3rd Quarter 2017 | |